Home > Insider Trading > Filing (0001140361-16-069075)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1259429	Ticc Capital Corp.	TICC	()	200118736

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1268529	B Saul Rosenthal	8 Sound Shore Drive Suite 255 Greenwich CT 06830	President And Coo	No	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock, $0.01 Par Value	Acquisiton	2016-06-06	14,400	$5.74	649,995	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Footnotes

The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 40% pecuniary interest. The number of shares reported on this Form 4 represents only Mr. Rosenthal's 40% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director of the issuer, and Charles M. Royce, a director of the issuer, have a 40% pecuniary interest and a 20% pecuniary interest, respectively, in such account.
The price reported is the weighted average price. The shares were purchased in multiple transactions. The reporting person undertakes to provide to the SEC, the issuer and any security holder of the issuer, upon request, full information regarding the number of shares and the prices at which the shares were purchased.
Includes 407 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein.